DIVISIONAL PRESIDENT – TRI STATE

DIVISIONAL PRESIDENT – TRI STATE

Company Overview:

Steward Partners Global Advisory (“SPGA”) is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and platinum level service to our client’s and their families.

SPGA caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering platinum level client service with an unwavering commitment to excellence.

Position Overview:

The primary focus of the role is to establish and build a presence for SPGA in key markets as identified by senior management. Once a branch or branches in a market are established, it’s the responsibility of the Divisional President to drive revenue through recruiting and organic growth, focus on meeting profit objectives and effectively manage the business from a risk and compliance perspective. Job functions include maintaining a superior and consistent level of client service, developing cohesive teams, providing consistent leadership and assuming accountability for the key performance metrics.

The Divisional President must be responsible for strong fiscal management, employee morale, culture, business ethics and practices, while adhering to all Federal, State and Local laws and regulations. The Divisional President also leads the team functions including operations, risk, compliance and business development.

Duties and Responsibilities:

Business Performance & Planning:

  • Responsible for the division’s sales and financial performance
  • Drive recruiting in the region to help meet the division’s recruiting target
  • Lead proactively by identifying trends, potential areas of growth and weakness and addressing these areas in order to positively position the division within the geographic market
  • Seek opportunities to grow business and drive sales within the division by capitalizing on Firm initiatives
  • Focus on building strong working relationships with Raymond James and other partners to help achieve the division’s marketing goals
  • Drive marketing initiatives to help increase market share
  • Hold annual business planning meetings with Advisors, and quarterly follow ups where appropriate, with Advisors to provide support, consultation and alignment of resources to help advisors grow their business – share feedback and objectives from business planning meetings with SPGA Executive Management to ensure firm resources and relationships are positioned to support growth
  • Thorough understanding of the Firm’s products and those of strategic partners
  • Use product/business knowledge to provide resources and direction in order to help drive sales
  • Directs Advisors to the right resources in an efficient manner
  • Ability to understand competitor offerings and present the Raymond James products to assist Advisors in continuing to meet their clients’ needs.
  • Review and approve Advisor expenses in line with SPGA expense policy

Recruiting & Transition Leadership:

  • Full accountability for the recruiting, onboarding and transition process and experience for Advisors and their teams and adherence to the SPGA recruiting and transition process
  • Work with appropriate SPGA Management to gain approval on new office openings and any exceptions to deal established parameters
  • Manage all recruiting meetings, meeting preparation e.g. obtaining confidential profile and production reports, and handle follow up items to ensure timely processing of a formal commitment
  • Effectively applies product/business knowledge to recruiting efforts
  • Timely communication and liaison with SPGA Management members to ensure full transparency on committed recruits
  • Engage risk partners to review and approve any complex arrangements e.g. international business, professional partnerships
  • Conduct platform overview and pre-hire scrubs, obtain any requested information and approvals from Recruit and/or Raymond James
  • Escalate to senior management any business, compliance or reputational issues regarding a recruit on a timely basis
  • Manage the divisional onboarding/transition calendar to ensure there is local capacity and adequate resources are available
  • Devise join day plan in partnership with divisional team, ensure plan has been reviewed by appropriate SPGA Management prior to start date
  • Lead the onboarding experience for Advisors and their teams by ensuring new recruits have a clear and detailed transition calendar, effectively leveraging and managing Firm resources to ensure an efficient and successful transition 

Communication, Culture, Diversity & Team Building:

  • Maintain regular branch visitation schedule to ensure visibility, connectivity and promote Firm culture and ensure Divisional team members also maintain visibility to achieve the same
  • Build credibility and rapport within the Divisional team (i.e. Operations Managers) by cascading relevant information on a timely basis and conducting regular meetings, at least weekly to communicate strategy, common business practices, goals and objectives
  • Lead by example by ensuring that the division is consistently achieving SPGA’s objectives, maintains a positive moral, has a reputation of fostering growth and has ethical business practices
  • Identifies key talent in the division, positions and develops that talent and encourages those individuals to participate in the leadership of the division
  • Lead and support initiatives to enhance diversity and foster an inclusive culture in the branches
  • Engages divisional team in the strategy and implementation of all Firm initiatives, including sales, hiring, recruitment, diversity and community outreach

Risk, Supervision & Compliance:

  • Responsible for the regulatory, legal and compliance issues including: risk management for the division regarding sales monitoring, human resources and legal and regulatory practices
  • Responsible for ensuring risk, compliance and supervisory procedures are adhered to across the division
  • Responsible for the monitoring and completion of assigned tasks in Supervisory Workstation and QBRA in partnership with Operations Managers and Risk partners
  • Responsible for handling escalated, sensitive or complex issue directly with Advisors leveraging Risk partners as appropriate
  • Accountable for Branch Audits including preparation, attending all audits in person across division, participation in wrap up call to review results and any remediation
  • Responsible for proactive client contact to in determining suitability and managing risk
  • Responsible for effectively communicating the status of performance and issues within the Division

Other:

  • Other projects may be added as deemed necessary by management

Reporting:

Reports to: Head of Wealth Management

Direct reports:

  • Financial Advisors
  • Operation Managers – also reports to Head of Operations:
    • Divisional President for matters related to the day to day running of the branches/Division, transitions and onboarding, vacation scheduling & approval, risk/compliance escalations
    • Head of Operations for alignment with operational policies and procedures, branch professionals development and initiatives

Location:
TRI STATE

For additional information or to submit a resume, please contact:
Kirstie Eustace, Head of Human Resources
kirstie.eustace@stewardpartners.com

Steward Partners Global Advisory, One International Place, Suite 3210, Boston MA 02110. Steward Partners Global Advisory, LLC maintains a separate professional business relationship with and our registered professionals offer securities offered through Raymond James Financial Services, Inc. Member FINRA/SIPC. Investment advisory services are offered through Steward Partners Investment Advisory, LLC.

REGISTERED CLIENT ADMINISTRATIVE MANAGER – MANCHESTER, NH

REGISTERED CLIENT ADMINISTRATIVE MANAGER – Manchester, NH

Company Overview:

Steward Partners Global Advisory is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and platinum level service to our client’s and their families.

Steward Partners Global Advisory caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering platinum level client service with an unwavering commitment to excellence.

Position Overview:

Steward Partners Global Advisory is hiring a Registered Client Administrative Manager in our Manchester, NH branch.

Working as part of a team, the Registered Client Administrative Manager (CAM) is responsible for providing operational and administrative support to a Financial Advisor or team of Financial Advisors. The Registered CAM enhances the client experience by providing exceptional client service and supporting Branch functions as needed.

Duties and Responsibilities:

  • Input orders at the direction of the Financial Advisor(s)
  • Onboard new client accounts, which includes the collection of required documentation and client information
  • Maintain existing client relationships through the processing of client requests, resolving client inquiries, and making sure key client information and documentation is up to date
  • Conduct outreach to maintain strong relationships with client base and identify services and solutions that support clients' needs
  • Proactively prepare financial reports, spreadsheets and other materials for client meetings
  • Support the team's marketing strategy by maintaining marketing materials, including digital and social media platforms, and planning client events and seminars
  • Regularly seek opportunities to use firm resources for peer sharing and collaborating with colleagues
  • Perform administrative duties that support Financial Advisors in daily business practices, including but not limited to, telephone coverage, business travel arrangements, coordination of client meetings and file & calendar maintenance

Requirements:

  • Active Series 7 and 66 (or 63 and 65) Licenses

Location:
Manchester, NH

For additional information or to submit a resume, please contact:
Jamie Markowitz, Human Resources
Jamie.markowitz@stewardpartners.com

Steward Partners Global Advisory, 2 Grand Central Tower, 140 East 45th Street, 36th Floor, New York NY10017. Steward Partners Global Advisory, LLC maintains a separate professional business relationship with and our registered principals offer securities offered through Raymond James Financial Services, Inc. Member FINRA/SIPC. Investment advisory services are offered through Steward Partners Investment Advisory, LLC.